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The letter requests prompt responses to additional document requests during the visit and asks firms to identify applicable documents on arrival. It includes detailed categories of compliance materials covering general firm information, registration items, records, cash activity, promotional materials, CPO financial reporting documents, and an additional CTA disclosure document question.",{"@graph":69,"@context":123},[70,84,106],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/nfa-exam-letter-compliance-and-required-documents-checklist/394313/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/nfa-exam-letter-compliance-and-required-documents-checklist/394313.png","ImageObject",300,407,{"name":92,"@type":93},"OmBimo","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-11-02","2026-09-26",true,{"@type":102,"interactionType":103,"userInteractionCount":105},"InteractionCounter",{"@type":104},"ViewAction",12,{"@type":107,"mainEntity":108},"FAQPage",[109,115,119],{"name":110,"@type":111,"acceptedAnswer":112},"What resources does NFA recommend for preparing for an NFA exam?","Question",{"text":113,"@type":114},"NFA recommends reviewing general exam information on NFA’s website, listening to the recorded webcast “How to Prepare for an NFA Exam,” and consulting the self-exam checklist link for required compliance documents.","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"What should a firm do when NFA asks for additional documents during the visit?",{"text":118,"@type":114},"Respond promptly to additional requests and ensure an Associated Person and Principal are available to answer questions to help NFA conduct the examination efficiently.",{"name":120,"@type":111,"acceptedAnswer":121},"Which document categories are listed as part of compliance preparation?",{"text":122,"@type":114},"The letter lists categories including general firm information, registration, records, cash activity, promotional material, CPO financial reporting, and a CTA disclosure document question.","https://schema.org",{"og:url":83,"og:type":125,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":127,"canonical":83},"index,follow",{"doc_id":129,"site_id":62},394313,1791332102,{"code":4,"msg":5,"data":132},{"doc_id":129,"user_id":133,"nickname":92,"user_avatar":134,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":135,"file_id":136,"file_url":137,"file_type":138,"file_size":139,"view_count":105,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":14,"language":140,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":141,"faqs":142,"seo_title":143,"seo_description":67,"update_tm":144,"read_time":24,"preview_page_count":4},962090893581,"https://ap-avatar.wpscdn.com/davatar_276721f389ce27ea32af1340a28f341c","Another example of an NFA Exam Letter  \nIn order to assist you in preparing for your examination, NFA recommends that you review general information regarding Exams located on NFA’s website at the following link:  \n[http://www.nfa.futures.org/NFA-compliance/NFA-general-compliance-issues/nfa](http://www.nfa.futures.org/NFA-compliance/NFA-general-compliance-issues/nfa)  \nAudits.HTML. NFA also recommends that you listen to a previously recorded webcast entitled“How to Prepare for an NFA Exam” which is located on NFA’s website at the following link: [http://www.accelacast.com/programs/nfa_audit/](http://www.accelacast.com/programs/nfa_audit/. Finally)[. Finally](http://www.accelacast.com/programs/nfa_audit/. Finally), for information regarding some of  \nthe required compliance documents listed below, please review the following link:  \n[http://www.nfa.futures.org/NFA-compliance/publication-library/self-exam-checklist.HTML](http://www.nfa.futures.org/NFA-compliance/publication-library/self-exam-checklist.HTML)  \nThough we have tried to make this list as inclusive as possible, we may ask for additional documents during our visit. By responding promptly to such additional requests as well as making an Associated Person and Principal available to respond to questions will further enable NFA to conduct the examination more efficiently. Some of the documents listed below may not be applicable to your firm, so please identify these documents upon our arrival.  \nCOMPLIANCE:  \nGeneral Firm Information  \n1. Signed and dated attestation from NFA Self Exam Checklist for the past two years  \n2. Most recent NFA Self Exam Checklist used and related notes  \n3. Firm Procedures manual, including but not limited to Promotional Material Review Procedures and Sales Practice Supervision Procedures  \nRegistration  \n1. The Firm's Bylaw 1101 procedures.  \n2. Provide a list of pool participants. Additionally, please indicate new participants since last NFA exam.  \n3. Provide a list of Managed Account Customers. Additionally, please indicate new participants since last NFA exam.  \nRecords  \n1. Customer Account Documents (specific accounts to be selected during fieldwork)  \n2. Firm’s Cyber Security/ Identity Theft Prevention Program  \nCash Activity  \n1. Expense sharing agreements with the firm's affiliates  \n2. List of proprietary trading accounts (include depository, account number, and purpose)  \n3. Proprietary Bank Statements  \n4. List of firm bank accounts (include depository, account number, and purpose)  \n5. Cash Receipts/Disbursements Journal for Firm’s Operating Accounts  \n6. Bank Statements for Firm’s Operating Accounts (including check register, canceled checks, wire advices, and deposit slips)  \nIA Watch © 2015 All Rights Reserved ● [www.iawatch.com](www.iawatch.com) ● 844-421-6333  \n7. Monthly account statements for credit cards used by the firm  \n8. Payroll reports if a third party provider is used (i.e. ADP, Paychex, etc. )  \n9. List of pool bank accounts (include depository, account number, and purpose)  \n10. Cash Receipts/Disbursements Journal for pool Operating Account  \n11. Bank Statements for pool (including check register, canceled checks, wire advices, and deposit slips)  \nPromotional Material  \n1. Firm’s Promotional Material File  \na. Print (magazine, newspaper, etc. )  \nb. On-Line Computer (Internet ( [i.e. website](i.e. website)), on-line services, on-line chat rooms, email correspondence, YouTube, Twitter, Facebook, Linked In, blogs, any other social networking)  \nc. PowerPoint Presentations and corresponding written scripts  \nd. Video (tape and script)  \ne. Radio (tape and script)  \nf. Direct Mail  \ng. Newsletters  \nh. Hotlines  \ni. Seminar Tapes/Materials/Outlines  \nj. Cover Letters Sent with Customer Statements  \n2. Supporting documentation for all claims or performance results and material statements of fact in Promotional Materials  \n3. Written evidence that the promotional material has been reviewed by a Principal  \nCPO Financi","cbCaihNGVkKQBR9h","https://ap.wps.com/l/cbCaihNGVkKQBR9h","pdf",108218,"English","# Compliance\n## General Firm Information\n## Registration\n## Records\n## Cash Activity\n## Promotional Material\n## CPO Financial Reporting\n## CTA Disclosure Document","[{\"question\":\"What resources does NFA recommend for preparing for an NFA exam?\",\"answer\":\"NFA recommends reviewing general exam information on NFA’s website, listening to the recorded webcast “How to Prepare for an NFA Exam,” and consulting the self-exam checklist link for required compliance documents.\"},{\"question\":\"What should a firm do when NFA asks for additional documents during the visit?\",\"answer\":\"Respond promptly to additional requests and ensure an Associated Person and Principal are available to answer questions to help NFA conduct the examination efficiently.\"},{\"question\":\"Which document categories are listed as part of compliance preparation?\",\"answer\":\"The letter lists categories including general firm information, registration, records, cash activity, promotional material, CPO financial reporting, and a CTA disclosure document question.\"}]","NFA Exam Letter - Compliance and Required Documents Checklist | PDF",1790401977]